Executive Director, Supervision Oversight Control Officer, Americas Division

Sumitomo Mitsui Financial Group, Inc. • $210K — $250K *
New York, NY 10025In-Person
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 10+ years of experience in Global Markets or related control disciplines.
  • Expert knowledge of supervisory activity oversight and risk management.
  • Strong understanding of transaction lifecycle supervisory controls.
  • Proven ability to lead cross-functional teams in complex environments.
  • Excellent communication and stakeholder management skills.
  • Strong analytical abilities for interpreting supervisory metrics and developing action plans.
  • Expert knowledge of regulatory expectations for financial institutions.

Responsibilities

  • Set and implement supervisory oversight strategy aligned with regulatory obligations.
  • Lead comprehensive assessments of supervisory activities throughout the trade lifecycle.
  • Advise on supervisory procedure design and escalation practices for Front Office teams.
  • Oversee supervisory control assessments and quality assurance reviews.
  • Identify and escalate supervisory risks and control gaps to senior management.
  • Coordinate interactions with Compliance, Risk Management, and external regulators.
  • Drive continuous process improvement initiatives for supervisory controls.

Benefits

  • Professional development opportunities and leadership training.
  • Access to an extensive network within the financial services industry.
  • Ability to influence and drive change within a major global institution.
Full Job Description
Job Summary

The Supervision Oversight Control Officer is an Executive Director-level first line risk and control leader responsible for designing, governing, and strengthening supervisory activity oversight across the Americas Division, including Global Markets, Capital Markets and Banking. The role provides strategic direction, credible challenge, and practical execution support to Front Office leaders on supervisory procedures, desk review routines, evidence standards, escalation protocols, exception management, and quality assurance across the transaction lifecycle. The role partners with Business Unit BCOs, Front Office supervisors, Compliance, Risk Management, Operations, Technology, Internal Audit, Legal, and other control functions to identify supervisory risks, drive sustainable remediation, and embed accountable, well-documented supervision within day-to-day business execution.

Role Description

  • Set supervisory activity oversight strategy, translating enterprise risk expectations and regulatory obligations into practical supervisory standards, routines, and management disciplines for Front Office execution.
  • Lead end-to-end assessment of supervisory activities across the trade lifecycle, including client onboarding, transaction execution, communications, documentation, booking, monitoring, reporting, and pre- and post-trade review controls.
  • Provide senior challenge and advisory support to Front Office supervisors and business leadership on supervisory procedure design, desk review routines, evidence requirements, escalation practices, process change, new products, and remediation plans.
  • Oversee execution of supervisory control assessments, quality assurance reviews, key control testing, issue management, incident root cause analysis, and remediation validation performed by business unit BCOs and supervisory teams.
  • Identify, assess, aggregate, and escalate supervisory risks, control gaps, exceptions, themes, and trends across the business; develop clear reporting for senior management committees and governance forums.
  • Coordinate supervisory activity interactions with Compliance, Risk Management, Internal Audit, Legal, Operations, Technology, and regulators on supervisory procedures, controls, risk appetite, examinations, and related remediation activities.
  • Drive supervisory process reengineering and continuous improvement initiatives that simplify execution, reduce operational risk, strengthen preventive and detective controls, and enhance evidence of supervisory control performance.
  • Coordinate Written Supervisory Procedure (WSP) updates across the business, including annual and event-driven reviews, stakeholder input, approval tracking, version control, publication readiness, and WSP tool administration; develop and maintain vertical-specific supervisory policies, procedures, standards, control playbooks, and evidence expectations.
  • Establish and monitor supervisory key risk indicators (KRIs), key performance indicators (KPIs), exception metrics, aging reports, and management routines to evaluate effectiveness and support timely escalation.
  • Lead first-line education, communication, and change management efforts to reinforce supervisory accountability, conduct expectations, policy adherence, and regulatory readiness across the business.
  • Supervise, coach, and develop business unit-level BCO and supervisory oversight staff, setting clear objectives for supervisory reviews, issue management, control testing, governance reporting, and stakeholder engagement.
  • Embed supervisory risk considerations into daily business processes, strategic planning, product development, transaction approvals, surveillance routines, and Front Office decision-making.Produce executive-level reporting and presentations on supervisory activity oversight for senior management, governance committees, audit engagements, regulatory inquiries, and issue escalation discussions.
  • Oversee supervisory activity frameworks across the business, including supervisory procedures, desk-level review routines, evidence standards, escalation protocols, exception handling, and quality assurance to confirm Front Office supervision is timely, documented, risk-based, and aligned with regulatory expectations.
  • Promote a strong supervisory risk culture by demonstrating independent judgment, credible challenge, timely escalation, and accountability for sustainable control outcomes.


Qualifications and Skills

  • Expert knowledge of supervisory activity oversight, first-line risk management, process and control design, supervisory procedures, process mapping, control testing, quality assurance, and sustainable remediation practices.
  • Expert knowledge of supervisory risk assessment, issue management, exception management, incident management, root cause analysis, governance reporting, and management committee escalation protocols.
  • Expert knowledge of Global Markets and Global Banking products, supervision, and processes, including listed and OTC derivatives, fixed income, equities, foreign exchange, treasury products, sales, trading, communications, and post-trade operations.
  • Expert knowledge of broker-dealer, swap dealer, banking, securities, and supervisory regulatory expectations, including practical experience supporting audits, examinations, regulatory inquiries, and remediation efforts.
  • Strong understanding of end-to-end transaction lifecycle supervisory controls, including onboarding/KYC, credit and limit management, trade capture, communications review, confirmations, documentation, settlement, monitoring, surveillance, and reporting.
  • Executive-level leadership, stakeholder management, communication, negotiation, and credible challenge skills, with the ability to influence senior Front Office supervisors and control function partners.
  • Proven ability to lead matrixed teams, manage competing priorities, drive supervisory change, and deliver measurable control improvements within a complex global financial institution.
  • Strong analytical capabilities, including the ability to interpret supervisory metrics, identify trends and themes, leverage data to support conclusions, and develop actionable remediation plans.
  • Excellent judgment, integrity, accountability, and supervisory risk mindset, with the ability to make decisions and escalate issues appropriately in high-pressure environments.
  • Strong project and program management skills, including planning, dependency management, status reporting, and execution of cross-functional supervisory control initiatives.
  • 10+ years of experience in Global Markets, supervisory activity oversight, first-line risk and controls, business management, operations, compliance, audit, or a closely related control discipline within a major global financial institution.

About Sumitomo Mitsui Financial Group, Inc.

Sumitomo Mitsui Financial Group, Inc. Careers

There has never been a more opportune time to join the dynamic team at Sumitomo Mitsui Financial Group, Inc. (SMFG)—a leading force in the financial services industry recognized for its leadership in innovation and diversity.

Explore Job Opportunities

Sumitomo Mitsui Financial Group, Inc. offers a plethora of job opportunities that cater to a variety of skills and interests. The company is renowned for its commitment to professional growth and leadership development, making it an ideal environment for ambitious individuals looking to advance their careers.

Experience Professional Growth

At SMFG, career advancement is not just a possibility but a priority. The company supports its team members with extensive training programs, including leadership development and diversity training, ensuring that every employee has the tools and knowledge necessary to succeed.

Join a Diverse and Inclusive Team

Diversity and inclusion are at the core of the company culture at Sumitomo Mitsui Financial Group, Inc. With a global team that values unique perspectives and fosters a collaborative and inclusive environment, SMFG is a place where everyone can thrive.

Internship Programs

For those starting their career journey, SMFG offers internship programs that provide a robust foundation in the financial sector. Interns gain invaluable experience, working alongside seasoned professionals and engaging in projects that offer real-world applications of their studies.

Benefits and Culture

Sumitomo Mitsui Financial Group, Inc. is dedicated to not only attracting but also retaining top talent by offering competitive benefits that enhance both personal and professional life. The company culture promotes work-life balance, employee well-being, and continuous learning.

Innovative Work Environment

Innovation is a key driver of SMFG’s success. Employees are encouraged to bring forward-thinking ideas to the table and are provided with the resources to transform these ideas into actionable solutions that drive the financial industry forward.

Networking and Career Development

Networking opportunities within SMFG are abundant. Employees are encouraged to connect with colleagues and industry leaders through various platforms and events, enhancing their professional network and opening doors to myriad career opportunities.

Apply for a Position

Sumitomo Mitsui Financial Group, Inc. is actively hiring and looking for talented individuals who are passionate, curious, and driven. Explore open positions that match your skills and interests on the SMFG careers page.

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Prepare for Your Interview

Aspiring to join SMFG? Prepare your resume to reflect your best self and gear up for the interview process where you can showcase your skills and passion for finance and innovation.

Career Opportunities Await

At Sumitomo Mitsui Financial Group, Inc., the potential for professional development and personal growth is limitless. Discover the exciting and rewarding career opportunities that await at SMFG, where every position contributes to the company’s global success and leadership in the financial industry.
Learn more about Sumitomo Mitsui Financial Group, Inc.
Industry
Finance & Insurance
* Ladders Estimates

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